Back

Search results

Found 1752 results. Displaying page 14 of 117

  4. 3 August 2023

    Enforcement Policy

    Our enforcement policy is intended to guide and inform financial market participants. It is also intended to be a living policy and we may revise it from time to time according to what our objectives and priorities are. It is not exhaustive and is not binding.

  5. 2 August 2023

    Class legislative notices summary 2023

    This is a summary of the Financial Markets Conduct Act class legislative notices we have granted (and are in force) as at 1 June 2023. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.

  6. 2 August 2023

    Exemptions

    The FMA has wide powers to provide exemptions to persons or transactions from some financial markets law requirements. These powers enable us to remove rigidities in the law and ensure requirements for businesses are reasonable and cost-effective. Read more about exemptions; exemption categories; how to apply for an exemption including digital advice exemptions on this page.

  8. 31 July 2023

    FMI Standards Guidance

    This guidance is intended to assist operators of Financial Market Infrastructures (FMIs), designated under the Financial Market Infrastructures Act 2021 (the Act), meet the requirements set out in the FMI Standards issued under section 31 of the Act

  9. 31 July 2023

    FMI Standards

    FMI standards for designated Financial Market Infrastructures.

  10. 31 July 2023

    Guidance note for overseas FMIs equivalence framework

    This guidance note sets out the ways the operator of an overseas FMI with a link to New Zealand can be designated under the Act, and our approach to applying standards to an operator of an overseas FMI.

  15. 31 July 2023

    Standard 1 Legal Basis

    Standard 1 Legal basis for designated Financial Market Infrastructures (FMIs).